Risk and Audit Specialist Job
Risk and Audit Specialist (Job Number: 1316459)
Description
Responsible for coordination of Managed Investments audit needs. Eamples include; SSAE 16 faciilitaion including liaising with the third-party auditor to define controls, walkthrough meeings, setting testing criteria and sample population, management of all requests from the auditor and internal coordination and document review prior to providing to the audit and role is responsible for escalation of potential issues to senior management; coordination with Internal Audit for Managed Investments including walkthrough meetings, tracking of all requests and documentation sent, and escalation to senior management where needed; and client audit of Managed Investments inclusive of customer meetings and walkthroughs, request tracking, documentation review, and escalation of potential issues. Responsible for ongoing development and implementation of Managed Investments testing program developed to identify and remediate risk within the organization by providing recommendations for additional controls. This role in the program consists of review of stated policies, procedures, controls, etc. and than testing adherence to the stated. If issues or gaps are identified in testing the associate will make appropriate recommendations to mitigate the risk and track the issue until resolution. A formal report is documented and furnished to MI senior management with the results on a semi-annual basis. Provide support including tracking of agreement terms and costs, assist with escalation, and provide guidance to vendor relationship managers. Serve as a point of escalation for MI business during technology Incidents and liaise with the Incident Management team to esnure that the appropriate communications are complete, resources are engaged for resolution and follow until resolution. Support, particpation, and leadership of various department and organization projects and initiatives as necessary. This includes such work as metrics reporting for senior management such as money manager statistics based on their book of bussiness, supporting the Managed Investments Executive Committee Wiki page (including maintenance and training), tracking and reconciling invoices and statement of work documents with Fiserv (the largest MI vendor).
Qualifications
- College Degree (BS/BA)
- 3 to 5 year financial industry experience
- FINRA Series 7 registered preferred
- Audit Experience strongly preferred
- Project Management Experience preferred
- Managed Accounts Experience a big plus
Primary Location: King of Prussia, PA, US
Internal Jobcode: 32612
Job: Audit/Compliance/Risk
Organization:
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